Upload
jzx
View
45
Download
3
Tags:
Embed Size (px)
DESCRIPTION
qms certification
Citation preview
CERTIFICATION REQUIREMENTS
QUALIFICATION-BASED
QUALITY MANAGEMENT SYSTEMS (QMS)
AUDITOR
CERTIFICATION SCHEME
RABQSA International Qualification-Based Personnel Certification Scheme
RABQSA International, Inc (RABQSA) is accredited by the Joint Accreditation System of
Australia and New Zealand (JAS-ANZ) as meeting the requirements of the international
standard for personnel certification bodies, ISO/IEC 17024:2003 ‘General requirements for
bodies operating the certification of persons’.
This scheme is not included under RABQSA’s scope of accreditation.
Disclaimer
While every effort is made to ensure that the process for evaluating applications for certification is effective, RABQSA International Inc does not accept liability for the performance, conduct or services provided by the certified person.
© Copyright RABQSA International, Inc
This Certification Scheme and associated Intellectual Property is subject to RABQSA International, Inc Copyright©. Apart from any fair dealing for the purposes of application, review or reference, as permitted under the Australian and United States of America Copyright Acts, no part of this Scheme may be reproduced by any process without the written permission of the Chief Executive Officer of RABQSA International, Inc.
Page 2
Document Ref: PCD28 QB QMS Auditor Certification Requirements Edition : 6 Issued : November 2010
RABQSA International
Website: www.rabqsa.com Email: [email protected]
Please see the website www.rabqsa.com for your region’s Principal Office
Index
Page 3
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
SECTION PAGE
Introduction 4
How To Use This Document 5
Applying for Certification 6
Choose Your Grade and Scope 7
Knowledge Requirements Associate Auditor 8
Knowledge Requirements Auditor 9
Knowledge Requirements Principal Auditor 10
Knowledge Requirement Lead Auditor 11
Knowledge Requirements Business Improvement Auditor 13
Qualifications Associate Auditor 15
Qualifications and Auditing Experience Auditor 16
Qualifications and Auditing Experience Principal Auditor 17
Qualifications and Auditing Experience Lead Auditor 18
Qualifications and Auditing Experience Business Improvement Auditor 19
Personal Attributes 20
Submit Application Form and Fee 21
Pay First Annual Certification Fee 22
Certificates and ID Cards 23
Re-certification 24
Expansion of Certification 26
Annexes
Annex A: General Definitions and Abbreviations 27
Annex B: Training Recognized by RABQSA 29
Annex C: Choosing Your Certification Scope 30
Annex D: Conditions for Audit Experience 31
Annex E: Continuing Professional Development 32
Annex F: E-based Gap Examinations 33
Annex G: Terms and Conditions of Certification 35
Annex H: Certification Fee Schedule 38
Annex I: Application Form—EXAMPLE 40
Annex J: Summary of Certification Requirements 46
Introduction
The Qualification-Based (QB) QMS Auditor Certification Scheme has been developed by
RABQSA International, Inc (RABQSA) in liaison with industry representatives.
The Scheme provides international recognition for auditors of QMS systems who conduct QMS
audits using national or international management system Standards, or other management
system Standards recognized by RABQSA.
Confidence and reliance in the audit process depends on the competence of personnel conducting the audit. The Scheme has been developed to meet the following key objectives:
To ensure that auditors meet or exceed the qualification guidelines for management system
auditors described in ISO 19011:2002 and are assessed as competent to perform quality
management system audits;
To assist organizations in selecting appropriately qualified auditors; and
To enhance the professional recognition of qualified auditors.
Page 4
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
How To Use This Document
This document has been designed to provide the information required for RABQSA certification,
in a clear and easy-to-follow format.
There are five grades of QMS Auditor certification. Requirements specific to each grade are
identified by the color of the stripe down the right-hand edge of each page. The colors are:
Associate QMS Auditor:
QMS Auditor:
Principal QMS Auditor:
Lead QMS Auditor:
Business Improvement QMS Auditor:
Pages containing information that is common to all grades and general information about the
QMS scheme are identified by a blue stripe (as shown on this page).
Applicants for certification to the QMS Auditor Certification Scheme will be required to provide
evidence of specific knowledge competencies, relevant work experience and prescribed
qualifications, and the ability to demonstrate defined personal attributes.
An overview of the Certification Requirements is outlined at Annex J page 46..
Refer to Annex A page 27 for Definitions and Abbreviations used in this document.
Electronic versions of this document have links embedded to enable direct access to selected
pages as well as page references. Hard copy versions have page references only.
Essentially, the Applicant follows the step-by-step process as outlined down the right hand side of
the page, commencing with Applying for Certification at page 6.
An EXAMPLE Application Form is available at Annex I page 40. For your convenience a
Microsoft Word version of the Application is available for download from the RABQSA web site.
Note:
Matters requiring clarification and or additional guidance should be referred to the RABQSA QMS
Scheme Examiner. Please refer to the RABQSA web site www.rabqsa.com for contact details.
Page 5
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Applying for Certification
When deciding what grade and scope of certification you should apply for, you should understand the grade definitions outlined on page 7.
Each auditor grade has requirements for knowledge that must be demonstrated. Details for each grade commence on page 8.
For RABQSA to process your application, you must pay the Application Fee. Details are provided on page 21.
Each auditor grade has requirements for education and work experience that must be demonstrated. For all grades (except Associate), relevant audit experience must also be demonstrated. Details for each grade start on page 15.
Upon successful completion of application evaluation, you will be required to pay your First Annual Certification Fee before you receive your Certificate. Annual fees are applied each year. Fees are detailed on page 22.
Your Certificate and ID Card will be issued by mail to the address provided on your Application. Details are provided on page 23.
Every three years you will be required to provide evidence to confirm that you meet re-Certification Requirements. Details are provided on page 24.
5. Pay First Annual Certification Fee
6. Certificate & ID Card
Issued
7. Re-certification
4. Submit Application & Fee
NOW GO TO CHOOSE YOUR GRADE AND SCOPE (Page 7)
Page 6
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
2. Complete Knowledge
Requirements
3. Complete Qualification and
Audit Experience Requirements
1. Choose Grade & Scope
Choose Your Grade and Scope
GRADE OF CERTIFICATION
In this Auditor Certification Scheme RABQSA offers competency evaluation and
certification in the following grades:
Provisional QMS Auditor
QMS Auditor
Lead QMS Auditor
Business Improvement QMS
Auditor
Please select your Grade
Provisional Auditor grade recognizes that an applicant has demonstrated knowledge-based auditing competence and may perform as a member of an audit team. (SELECT) Auditor grade recognizes that an applicant has demonstrated the competencies to conduct a management system certification audit and perform as a member of an audit team. (SELECT) Lead Auditor grade recognizes that an applicant has demonstrated Auditor competence and can lead an audit team. (SELECT) Business Improvement Auditor grade recognizes that an applicant has demonstrated Lead Auditor competence and can provide guidance to an organization on the application and benefits of business improvement and risk management tools. (SELECT)
SCOPE OF CERTIFICATION Applicants applying for Certification Auditor certification at may be awarded recognition for their competence to conduct specialized management system certification audits in the Scopes listed. The decision on which scopes are appropriate will be dependent on each applicant’s specialized qualifications (education, training and/or professional experience). These qualifications will be evaluated against RABQSA-recognized qualifications. Advice on recognized qualifications is available from RABQSA. Refer to Annex B Page 32 for an overview of the competencies required for each scope of certification. It is possible for an auditor to be awarded more than one scope.
Note: Certification Auditors may be recognized for their professional and/or technical experience as de-fined under Scope of Certification. In establishing audit teams for any purpose, consideration of these competencies in the overall make up and management of the team should be taken into account.
Page 7
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
GRADES OF CERTIFICATION
There are five grades of QMS Auditor certification. Requirements specific to each grade are
identified by the color of the stripe down the right-hand edge of each page. The colors are:
Associate QMS Auditor:
QMS Auditor:
Principal QMS Auditor:
Lead QMS Auditor:
Business Improvement QMS Auditor:
Please (SELECT) your Grade:
Associate Auditor recognizes that an applicant has met the formal education, training and work
experience requirements but has not yet demonstrated the ability to conduct audits. (Page 8)
Auditor grade recognizes that an applicant has demonstrated the qualifications to conduct a QMS
audit and perform as a member of an audit team. (Page 9)
Principal Auditor grade recognizes that an applicant has demonstrated the qualifications to
conduct a QMS audit and perform either alone or as a member of an audit team. (Page 10)
Lead Auditor grade recognizes that an applicant has demonstrated the qualifications to conduct a
QMS audit and can lead an audit team. (Page 11)
Business Improvement Auditor grade recognizes that an applicant has demonstrated Lead
Auditor qualifications and knowledge on the application and benefits of business improvement and
risk management tools. (Page 13)
SCOPES OF CERTIFICATION
Applicants applying for QMS Auditor certification may be awarded recognition for their
competence to conduct specialized QMS audits in the Scopes defined in Annex C page 30.
The decision on which scopes are appropriate will be dependent on each applicant’s specialized
qualifications (education, training and/or professional experience).
Refer to Annex C page 30 for an overview of the competencies required for each scope of
certification. It is possible for an auditor to be awarded more than one scope.
Note: QMS Auditors may be recognized for their professional and/or technical experience as defined under Scope of Certification. In establishing audit teams for any purpose, consideration of these qualifications in the overall make up and management of the team should be taken into account.
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
Knowledge Requirements
Associate Auditor Applicants for QMS Associate Auditor grade certification must provide evidence of knowledge
competency defined by RABQSA in the following TPECS Competency Units:
Management System Auditing (RABQSA-AU)
Understand the application of the principles, procedures and techniques of auditing.
Understand the conduct of an effective audit in the context of the auditee’s organizational situation.
Understand the application of the regulations, and other considerations that are relevant to the management system, and the conduct of the audit.
Practice personal attributes necessary for the effective and efficient conduct of a management system audit.
and
Auditing Quality Management Systems (RABQSA-QM)
Understand the application of Quality Management Principles in the context of ISO 9001:
2008; and
Relate the quality management system to the organizational products, including services, and
operational processes.
Evidence of Knowledge-based Competency A Certificate/s of Attainment for the above Competency Units from an RABQSA-Certified TPECS
Training Provider, issued within the three years prior to application, is required. Applicants whose
Certificate is older than three years may be eligible to complete the RABQSA-QM e-based Gap
Examination to demonstrate current knowledge. Refer to Annex F page 33 for details on e-based
Gap Examinations. The RABQSA-QM Gap Examination is available on RABQSA’s web site at
www.rabqsa.com.
Alternately, a Certificate of Successful Completion from an RABQSA-Certified (or other certified
QMS Auditor course recognized by RABQSA), together with the RABQSA-QM e-based Gap
Examination, will be accepted as evidence of the knowledge requirements. Refer to Annex B page
29 for details of other certified training courses recognized by RABQSA.
The RABQSA register of Certified Training Providers is available at www.rabqsa.com.
Page 8
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
Note: Applicants who have obtained a Certificate of Attainment/Successful Completion from an
RABQSA-Certified TPECS or TCC Training Provider (or other Certified QMS Auditor course rec-
ognized by RABQSA) to the ISO 9001:2000 Standard, will be required to complete the RABQSA
ISO 9001:2008 e-based QM Gap Examination.
NOW GO TO QUALIFICATIONS (Page 15)
Knowledge Requirements
Auditor
Page 9
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
Applicants for QMS Auditor grade certification must provide evidence of knowledge competency
defined by RABQSA in the following TPECS Competency Units:
Management System Auditing (RABQSA-AU)
Understand the application of the principles, procedures and techniques of auditing.
Understand the conduct of an effective audit in the context of the auditee’s organizational situation.
Understand the application of the regulations, and other considerations that are relevant to the management system, and the conduct of the audit.
Practice personal attributes necessary for the effective and efficient conduct of a management system audit.
and
Auditing Quality Management Systems (RABQSA-QM)
Understand the application of Quality Management Principles in the context of ISO 9001:
2008; and
Relate the quality management system to the organizational products, including services, and
operational processes.
Evidence of Knowledge-based Competency A Certificate/s of Attainment for the above Competency Units from an RABQSA-Certified TPECS
Training Provider, issued within the three years prior to application, is required. Applicants whose
Certificate is older than three years may be eligible to complete the RABQSA-QM e-based Gap
Examination to demonstrate current knowledge. Refer to Annex F page 33 for details on e-based
Gap Examinations. The RABQSA-QM Gap Examination is available on RABQSA’s web site at
www.rabqsa.com.
Alternately, a Certificate of Successful Completion from an RABQSA-Certified TCC QMS Auditor
Course (or other certified QMS Auditor course recognized by RABQSA), together with the
RABQSA-QM e-based Gap Examination, will be accepted as evidence of the knowledge
requirements. Refer to Annex B page 29 for details of other certified training courses recognized
by RABQSA.
The RABQSA register of Certified Training Providers is available at www.rabqsa.com.
Note: Applicants who have obtained a Certificate of Attainment/Successful Completion from an
RABQSA-Certified TPECS or TCC Training Provider (or other Certified QMS Auditor course rec-
ognized by RABQSA) to the ISO 9001:2000 Standard, will be required to complete the RABQSA
ISO 9001:2008 e-based QM Gap Examination.
NOW GO TO QUALIFICATIONS AND AUDIT EXPERIENCE (Page 16)
Knowledge Requirements
Principal
Page 10
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
Applicants for QMS Principal Auditor grade certification must provide evidence of knowledge
competency defined by RABQSA in the following TPECS Competency Units:
Management System Auditing (RABQSA-AU)
Understand the application of the principles, procedures and techniques of auditing.
Understand the conduct of an effective audit in the context of the auditee’s organizational situation.
Understand the application of the regulations, and other considerations that are relevant to the management system, and the conduct of the audit.
Practice personal attributes necessary for the effective and efficient conduct of a management system audit.
and
Auditing Quality Management Systems (RABQSA-QM)
Understand the application of Quality Management Principles in the context of ISO 9001:
2008; and
Relate the quality management system to the organizational products, including services, and
operational processes.
Evidence of Knowledge-based Competency A Certificate/s of Attainment for the above Competency Units from an RABQSA-Certified TPECS
Training Provider, issued within the three years prior to application, is required. Applicants whose
Certificate is older than three years may be eligible to complete the RABQSA-QM e-based Gap
Examination to demonstrate current knowledge. Refer to Annex F page 33 for details on e-based
Gap Examinations. The RABQSA-QM Gap Exam is available on RABQSA’s web site at
www.rabqsa.com.
Alternately, a Certificate of Successful Completion from an RABQSA-Certified TCC QMS Auditor
Course (or other certified QMS Auditor course recognized by RABQSA), together with the
RABQSA-QM e-based Gap Examination, will be accepted as evidence of the knowledge
requirements. Refer to Annex B page 29 for details of other certified training courses recognized
by RABQSA.
The RABQSA register of Certified Training Providers is available at www.rabqsa.com.
Note: Applicants who have obtained a Certificate of Attainment/Successful Completion from an
RABQSA-Certified TPECS or TCC Training Provider (or other Certified QMS Auditor course rec-
ognized by RABQSA) to the ISO 9001:2000 Standard, will be required to complete the RABQSA
ISO 9001:2008 e-based QM Gap Examination.
NOW GO TO QUALIFICATIONS AND AUDIT EXPERIENCE (Page 17)
Knowledge Requirements
Lead Auditor Applicants for QMS Lead Auditor grade certification must provide evidence of knowledge
competency defined by RABQSA in the following TPECS Competency Units.
Management System Auditing (RABQSA-AU)
Understand the application of the principles, procedures and techniques of auditing.
Understand the conduct of an effective audit in the context of the auditee’s organizational situation.
Understand the application of the regulations, and other considerations that are relevant to the management system, and the conduct of the audit.
Practice personal attributes necessary for the effective and efficient conduct of a management system audit.
and Auditing Quality Management Systems (RABQSA-QM)
Understand the application of Quality Management Principles in the context of ISO 9001:
2008; and
Relate the quality management system to the organizational products, including services, and
operational processes.
and
Leading Management System Audit Teams (RABQSA-TL)
Establish, plan and task the activities of an audit team.
Communicate effectively with the auditee and audit client.
Organize and direct audit team members.
Prevent and resolve conflict with the auditee and/or within the audit team.
Prepare and complete the audit report.
Page 11
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
CONTINUED OVER PAGE
Knowledge Requirements
Lead Auditor (cont.) Evidence of Knowledge-based Competency A Certificate/s of Attainment for the above Competency Units from an RABQSA-Certified TPECS
Training Provider, issued within the three years prior to application, is required. Applicants whose
Certificate is older than three years may be eligible to complete the RABQSA-QM and TL e-based
Gap Examinations to demonstrate current knowledge. Refer to Annex F page 33 for details on e-
based Gap Examinations. The RABQSA-QM and TL Gap Examinations are available on
RABQSA’s web site at www.rabqsa.com.
Alternately, a Certificate of Successful Completion from an RABQSA-Certified TCC QMS Lead
Auditor Course (or other certified QMS Lead Auditor course recognized by RABQSA), together
with the RABQSA-QM and TL e-based Gap Examinations, will be accepted as evidence of the
knowledge requirements. Refer to Annex B page 29 for details of other certified training courses
recognized by RABQSA.
The RABQSA register of Certified Training Providers is available at www.rabqsa.com.
Page 12
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
NOW GO TO QUALIFICATIONS AND AUDIT EXPERIENCE (Page 18)
Note: Applicants who have obtained a Certificate of Attainment/Successful Completion from an
RABQSA-Certified TPECS or TCC Training Provider (or other Certified QMS Auditor course rec-
ognized by RABQSA) to the ISO 9001:2000 Standard, will be required to complete the RABQSA
ISO 9001:2008 e-based QM Gap Examination.
Knowledge Requirements
Business Improvement Auditor Applicants for Business Improvement Auditor grade certification must provide evidence of
knowledge competency defined by RABQSA in the following TPECS Competency Units.
Management System Auditing (RABQSA-AU)
Understand the application of the principles, procedures and techniques of auditing.
Understand the conduct of an effective audit in the context of the auditee’s organizational situation.
Understand the application of the regulations, and other considerations that are relevant to the management system, and the conduct of the audit.
Practice personal attributes necessary for the effective and efficient conduct of a management system audit.
and Auditing Quality Management Systems (RABQSA-QM)
Understand the application of Quality Management Principles in the context of ISO 9001:
2008; and
Relate the quality management system to the organizational products, including services, and
operational processes.
and
Leading Management System Audit Teams (RABQSA-TL)
Establish, plan and task the activities of an audit team.
Communicate effectively with the auditee and audit client.
Organize and direct audit team members.
Prevent and resolve conflict with the auditee and/or within the audit team.
Prepare and complete the audit report.
and Advising on Business Improvement and Risk Management (RABQSA-OI)
Write an organizational business plan.
Interpret financial statements.
Write a risk management plan.
Determine Human Resources (HR) best practice.
Determine appropriate business improvement tools.
Communicate with senior management.
Page 13
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
CONTINUED OVER PAGE
Knowledge Requirements
Business Improvement Auditor (cont.) Evidence of Knowledge-based Competency A Certificate/s of Attainment for the Competency Units listed on the previous page from an RABQSA
-Certified TPECS Training Provider, issued within the three years prior to application, is required.
Applicants whose Certificate is older than three years may be eligible to complete the RABQSA-QM
and TL e-based Gap Examinations to demonstrate current knowledge. Refer to Annex F page 33 for
details on e-based Gap Examinations. The RABQSA-QM and TL Gap Exams are available on
RABQSA’s web site at www.rabqsa.com.
Alternately, a Certificate of Successful Completion from an RABQSA-Certified TCC QMS Lead
Auditor Course (or other certified QMS Lead Auditor course recognized by RABQSA), together with
the RABQSA-QM and TL e-based Gap Examinations, will be accepted as evidence of the
knowledge requirements. Refer to Annex B page 29 for details of other certified training courses
recognized by RABQSA.
The RABQSA register of Certified Training Providers is available at www.rabqsa.com.
Page 14
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
NOW GO TO QUALIFICATIONS AND AUDIT EXPEREINCE (Page 19)
Note: Applicants who have obtained a Certificate of Attainment/Successful Completion from an
RABQSA-Certified TPECS or TCC Training Provider (or other Certified QMS Auditor course rec-
ognized by RABQSA) to the ISO 9001:2000 Standard, will be required to complete the ISO
9001:2008 QM Gap Examination.
Qualifications
Associate Auditor Applicants for Associate Auditor certification must provide evidence of qualifications defined by
RABQSA in the following categories:
Evidence-Education
Applicants must submit a minimum of secondary education or national equivalent.
Evidence-Work Experience Applicants must provide evidence of at least two years quality assurance work experience,
obtained in the four years prior to Application; and At least eight years work experience with secondary education; or
At least six years work experience with post-secondary (non-university) education; or
At least four years work experience with a University degree (Bachelors or higher).
Evidence of work experience must be verifiable and include: Employer (including contact details);
Dates of employment; and
Roles, responsibilities (job description) and achievements. Evidence-Scopes
Applicants must demonstrate the additional Qualifications required for each Scope of Certification.
Refer to Annex C page 30.
Page 15
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
NOT GO TO PERSONAL ATTRIBUTES (Page 20)
Qualifications and Audit Experience
Auditor
Page 16
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
Applicants for QMS Auditor certification must provide evidence of qualifications defined by
RABQSA in the following categories:
Evidence-Education
Applicants must submit a minimum of secondary education or national equivalent.
Evidence-Work Experience Applicants must provide evidence of at least two years quality assurance work experience,
obtained in the four years prior to Application, in a technical or managerial position with direct
QMS management responsibilities; and At least eight years work experience with secondary education; or
At least six years work experience with post-secondary (non-university) education; or
At least four years work experience with a University degree (Bachelors or higher).
Evidence of work experience must be verifiable and include: Employer (including contact details);
Dates of employment; and
Roles, responsibilities (job description) and achievements. Evidence-Audit Experience
Applicants for Auditor grade shall demonstrate twenty audit days in accordance with the conditions
for audit experience as described in Annex D page 31. A maximum of six days of off-site audit
activity is allowed in these twenty days.
Included in the twenty audit days, an Applicant must demonstrate
At least four complete QMS audits as a member of an audit team.
Evidence-Scopes
Applicants must demonstrate the additional Qualifications required for each Scope of Certification.
Refer to Annex C page 30.
NOW GO TO PERSONAL ATTRIBUTES (Page 20)
Qualifications and Audit Experience
Principal Auditor
Page 17
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
Applicants for QMS Principal Auditor certification must provide evidence of qualifications defined
by RABQSA in the following categories:
Evidence-Work Experience Applicants must provide evidence of at least two years quality assurance work experience,
obtained in the four years previous to Application, in a technical or managerial position with direct
QMS management responsibilities; and At least eight years work experience with secondary education; or
At least six years work experience with post-secondary (non-university) education; or
At least four years work experience with a University degree (Bachelors or higher).
Evidence of work experience must be verifiable and include: Employer (including contact details);
Dates of employment; and
Roles, responsibilities (job description) and achievements. Evidence-Audit Experience
Applicants for Auditor grade shall demonstrate twenty audit days in accordance with the conditions
for audit experience as described in Annex D page 31. A maximum of six days of off-site audit
activity is allowed in these twenty days.
Included in the twenty audit days, an Applicant must demonstrate:
At least four complete QMS audits; and
At least ten audits days and two complete audits as a solo auditor, a member of an audit
team, or Team Leader.
Evidence-Scopes
Applicants must demonstrate the additional Qualifications required for each Scope of Certification.
Refer to Annex C page 30.
NOW GO TO PERSONAL ATTRIBUTES (Page 20)
Qualifications and Audit Experience
Lead Auditor Applicants for QMS Lead Auditor certification must provide evidence of qualifications defined by
RABQSA in the following categories:
Evidence-Work Experience Applicants must provide evidence of at least two years quality assurance work experience,
obtained in the four years previous to Application, in a technical or managerial position with direct
QMS management responsibilities; and At least eight years work experience with secondary education; or
At least six years work experience with post-secondary (non-university) education; or
At least four years work experience with a University degree (Bachelors or higher).
Evidence of work experience must be verifiable and include: Employer (including contact details);
Dates of employment; and
Roles, responsibilities (job description) and achievements. Evidence-Audit Experience
Applicants for Lead Auditor grade shall demonstrate thirty-five audit days in accordance with the
conditions for audit experience as described in Annex D page 31. A maximum of ten days of off-
site audit activity is allowed in these twenty days.
Included in the thirty-five audit days, an Applicant must demonstrate:
At least three complete QMS audits; and
A total of at least fifteen audit days, as a audit team leader of a team of least one other
auditor.
Evidence-Scopes
Applicants must demonstrate the additional Qualifications required for each Scope of Certification.
Refer to Annex C page 30.
Page 18
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose Grade & Scope
Complete Knowledge
Requirements
NOW GO TO PERSONAL ATTRIBUTES (Page 20)
Qualifications and Audit Experience
Business Improvement Auditor
Page 19
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Submit Application
Form & Fees
Complete Qualification
and Audit Experience
Requirements
Pay First Annual
Certification Fee
Certificate & ID Card issued
Re-certification
Choose grade &scope
Complete Knowledge
Requirements
Applicants for QMS Business Improvement Lead Auditor certification must provide evidence of
qualifications defined by RABQSA in the following categories:
Evidence-Work Experience
Applicants must provide evidence of at least two years quality assurance work experience,
obtained in the four years previous to Application, in a technical or managerial position with direct
QMS management responsibilities; and
At least eight years work experience with secondary education; or
At least six years work experience with post-secondary (non-university) education; or
At least four years work experience with a University degree (Bachelors or higher).
Evidence of work experience must be verifiable and include: Employer (including contact details);
Dates of employment; and
Roles, responsibilities (job description) and achievements. Evidence-Audit Experience
Applicants for Lead Auditor grade shall demonstrate thirty-five audit days in accordance with the
conditions for audit experience as described in Annex D page 31. A maximum of ten days of off-
site audit activity is allowed in these twenty days.
Included in the thirty-five audit days, an Applicant must demonstrate:
At least three complete QMS audits; and
A total of at least fifteen audit days, as a audit team leader of a team of least one other
auditor.
Evidence-Scopes
Applicants must demonstrate the additional Qualifications required for each Scope of Certification.
Refer to Annex C page 30.
NOT GO TO PERSONAL ATTRIBUTES (Page 20)
Personal Attributes
Applicants must possess appropriate personal attributes, as shown below. The attributes
required by RABQSA are related to those defined in ISO 19011:2002 Guidelines for quality and/
or environmental management systems auditing.
Ethical – fair, truthful, sincere, honest and discreet;
Proactive and organized – takes the initiative with issues, and is personally organized;
Systematic – shows a balanced affiliation for both tasks and people;
Logical – makes decisions based on facts and reasoned logic;
Decisive – expedites decisions methodically;
Observant – shows the ability to identify both patterns and exceptions in complex
situations;
Diplomatic – relates to others and shows tact in appropriate situations;
Flexible – shows a balanced global and detail focus;
Process focused – demonstrates the ability to follow a pre-determined method;
People sensitive – is sensitive to and can identify a person’s emotional state;
Adaptable and resourceful – adapts to, and works with, different types of people in a
range of situations and copes with change; and
Confident – demonstrates certainty and competency, and reacts well to a variety of
challenges, i.e. demonstrates calm and poise in challenging situations.
These personal attributes will be verified by RABQSA Scheme Examiners with auditeees provided
on an applicant’s audit log and employers as applicable.
Page 20
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
NOT GO SUBMIT APPLICATION FORM AND FEE (Page 21)
Submit Application Form and Fee
To apply for certification, you will need to:
Complete Application Form (example found at Annex I page 40), including confirmation to
observe the RABQSA Code of Conduct;
Submit this to RABQSA with the Application Fee; and
Provide evidence of your knowledge and qualifications as defined (refer to previous page for
details).
For complete details of Fees, refer to website at www.rabqsa.com/fee_portal.html
To enable effective evaluation of Applications, RABQSA requires all Applicants to provide
verifiable documentary evidence that demonstrates compliance with these Certification
Requirements for the grade and scope certification being sought.
Applicants must ensure that the information they provide in their Application is accurate and
complete, or delays may occur in the processing of their Application.
All Application information must be provided in English, unless otherwise agreed by RABQSA.
Where translations of documents are provided, these must be independently verified for
accuracy.
Applicants who have any special needs related to language and/or disabilities should contact
RABQSA for advice.
Page 21
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Note:
Payments may be made in US$, AU$ or €. All fees are non-refundable and are subject to
change without notice. Please refer to the fees listed for each region on the website
www.rabqsa.com for details.
NOW GO TO PAY FIRST ANNUAL FEES (Page 22)
Pay First Annual Certification Fee
When all Certification Requirements have been demonstrated, RABQSA will notify the Applicant
that the Application has been approved. An invoice for the First Annual Certification Fee will be
provided with this notification.
Details on accepted methods of payment are provided on the invoice.
Payment of this invoice must be received by RABQSA before certification is confirmed.
Annual Certification Fees are due each year on the anniversary of initial certification. RABQSA
will provide an invoice for the amount due approximately two months prior to the due date.
Annual Certification fees vary by grade.
For complete details of Fees, refer to website at www.rabqsa.com/fee_portal.html
NOW GO TO CERTIFICATES AND ID CARDS (Page 23)
Page 22
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Note:
Payments may be made in US$, AU$ or €. All fees are non-refundable and subject to change.
Please refer to the fees listed for each region on the website www.rabqsa.com for details.
Certificates and ID Cards
When payment for the First Annual Certification Fee has been received by RABQSA, a
Certificate and ID Card are issued to the Auditor.
The Certificate includes the following information:
Certified Auditor’s name
RABQSA customer number
Type and grade of certification
Scope of certification awarded (if applicable)
Date certification awarded
Date certification expires
The ID Card includes the following information:
Certified Auditor’s name
RABQSA customer number
Type and grade of certification
Date certification awarded
Date certification expires
Certificates and ID Cards remain the property of RABQSA and must be returned if certification is
suspended or withdrawn. Auditors are required to immediately notify RABQSA if a Certificate or
ID Card is lost or stolen.
Updated Certificates and ID Cards will be issued at each re-certification.
Page 23
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
NOW GO TO RE-CERTIFICATION (Page 24)
Re-certification
To maintain certification, all certified auditors are required to demonstrate continuing conformity
with the current Certification Requirements for the grade of certification awarded. RABQSA will
provide reminders with the invoice for Re-certification Fee when the date for re-certification is
due and the information required.
Every three years from the date of initial certification and each subsequent re-certification,
auditors must demonstrate continuing conformity with the current Certification Requirements by
providing:
Evidence of 45 hours of Continual Professional Development (CPD) activities. CPD logs
and guidance are available on the RABQSA web site at www.rabqsa.com, and also in
Annex E, page 32.
Confirmation that the RABQSA Code of Conduct has been adhered to and any complaints
against performance have been resolved.
Audit experience that meets the conditions for audit experience (See Annex D, page 31) in
accordance with the following:
Associate Auditor: No audit experience required
Auditor: At least 6 audits that total at least 15 audit days. At least 2 of these audits must
be complete audits.
Principal Auditor: At least 6 audits that total at least 15 audit days. At least 2 of these
audits must be complete audits. At least 2 of these audits must be performed either
solo or as an audit team leader.
Lead Auditor: At least 6 audits that total at least 15 days. At least 2 of these audits
must be complete audits. At least 2 of these audits must be performed as an audit team
leader.
Business Improvement Auditor: At least 6 audits that total at least 15 days. At least 2
of these audits must be complete audits. At least 2 of these audits must be performed
as an audit team leader.
CONTINUED OVER PAGE
Page 24
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Note: For all grades, a maximum of 6 days of off-site audit activity will be accepted in each re-
certification period.
Re-certification (cont.)
Re-certification Fees
These Fees are payable every third anniversary of initial certification and each subsequent re-
certification. The Re-certification Fee includes the Annual Certification Fee. The applicable Fee
will be invoiced by RABQSA.
Re-certification Fees vary by grade. For complete details of Fees, refer to RABQSA website
at http://www.rabqsa.com/fee_portal.html.
NOW GO TO EXPANSION OF CERTIFICATION (Page 26)
Page 25
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Note:
Payments may be made in US$, AU$ or €. All fees are non-refundable and subject to change.
Please refer to the fees listed for each region on the website www.rabqsa.com for details.
Expansion of Certification
Certified auditors can apply to expand their grade and/or Scope of certification at any time. To
apply for an expansion of certification, auditors are required to:
Complete the Expansion Application Form (available on the RABQSA website
www.rabqsa.com);
Submit this to RABQSA with the Expansion Fee; and
Provide evidence of the requirements for the grade and/or Scope sought, as defined in these
Certification Requirements.
Where an auditor is applying for more than one additional scope in the same application,
only one Expansion Fee is required.
For complete details of Fees, refer to website at www.rabqsa.com/fee_portal.html
NOW GO TO DEFINITIONS AND ABBREVIATIONS (Page 27)
Page 26
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Note:
Payments may be made in US$, AU$ or €. All fees are non-refundable and are subject to
change. Please refer to the fees listed for each region on the website www.rabqsa.com for
details.
For the purpose of these Certification Requirements, the definitions given in ISO 19011:2002
‘Guidelines for quality and/or environmental management systems auditing’ and ISO/IEC
17024:2003 ‘General requirements for bodies operating certification of persons’ apply, in addition
to those definitions specific to RABQSA. Definitions and abbreviations relevant to this document
are shown.
Audit: Systematic, independent and documented process for obtaining audit evidence and
evaluating it objectively to determine the extent to which audit criteria are fulfilled.
Audit Criteria: Set of policies, procedures or requirements (used as a reference).
Audit Team Leader: Person with the competence to lead an audit team that includes at least one
other auditor.
Auditor: Person with the competence to conduct an audit.
Competence: Demonstrated ability to apply knowledge and skills, and demonstrate the required
personal attributes.
Expansion: Movement from one certification grade to another and/or addition of certification
scopes via demonstration of the competency required for that grade and/or scope.
QMS Auditor: An Associate Auditor, Auditor, Principal Auditor, Lead Auditor or Business
Improvement Auditor, certified by RABQSA to this Personnel Certification Scheme.
Qualification: Demonstration of education, training and/or work experience.
RABQSA-Certified Skill Examiner: A person certified by RABQSA as competent to conduct an
examination of RABQSA-defined skill competency for Applicants.
RABQSA Scheme Examiner: Employee of RABQSA with responsibility for management of
designated Schemes and evaluation of Applications.
Recognition of Current Competency (RCC): Acknowledgement by RABQSA of competency
currently held by a person, acquired through qualifications, and/or work or life experiences.
Recognition of Prior Learning (RPL): Acknowledgement by RABQSA of knowledge acquired by
a person, acquired through qualifications and/or training.
Annex A General Definitions and Abbreviations
CONTINUED OVER PAGE
Page 27
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Reduction: Movement to a lower grade or removal of scope of certification.
Scheme Committee (SC): Committee established by RABQSA with responsibility for the
development and maintenance of personnel certification Schemes offered by RABQSA
International. The SC shall fairly and equitably represent the interests of all parties significantly
concerned with the certification Schemes, including the consideration of public interest.
Sub-Scheme Committee (SSC): Committee established by RABQSA with responsibility for the
development and maintenance of a specific personnel certification Scheme, offered by RABQSA
International. The SSC shall fairly and equitably represent the interests of all parties significantly
concerned with the certification Scheme, including the consideration of public interest.
Scope: Recognition that an Auditor has demonstrated the qualifications to conduct audits of a
defined ISO Standard or Industry Sector.
TCC: Training Course Certification, offered by RABQSA.
TPECS: Training Provider and Examiner Certification Scheme, offered by RABQSA.
Tertiary Education: Post secondary education that may include trade school, associate, bachelor
and/or higher college or university degree.
Annex A General Definitions and Abbreviations (cont.)
END OF ANNEX A
Page 28
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
In addition to Training Providers certified by RABQSA, under either the TCC scheme or the TPECS
Scheme, RABQSA has Bi-Lateral Agreements (BLAs) with a range of personnel certification bodies.
These BLAs provide recognition for training providers and courses certified by the International Registrar
of Certificated Auditors (IRCA) and the National Registration Board for Personnel and Training
(NRBPT).
The following courses, along with the RABQSA e-based QM and/or TL Gap Examinations will be
recognized as being equivalent to RABQSA certified QMS Auditor/Lead Auditor courses in meeting the
knowledge-based requirements for this QMS auditor certification scheme.
All grades:
ISO 9000:2000 Series Auditor/Lead Auditor course (IRCA/2245); and
QMS Lead Auditor Training Course (NRBPT/ 2001/ 0604/02).
Annex B Training Recognized by RABQSA
END OF ANNEX B
Page 29
Document Ref: QMS QB Auditor Certification Requirements © Edition: 6 Issued : November 2010
Annex C
Choosing Your Certification Scope
SCOPE OF CERTIFICATION
The decision on which Scopes are appropriate will be dependent on each applicant’s demonstration of the requirements defined for each Scope. It is possible for an applicant to be awarded more than one Scope. Additional information on the Cattlecare Audit Scope is available from RABQSA or the Australian National Cattlecare Coordinator. Additional information on the Flockcare Audit Scope is available from RABQSA or the Australian National Flockcare Coordinator. *- Certified Personnel, currently holding the RABQSA ISO 9001:2000 Scope, will be required to transition to the ISO 9001:2008 Scope before their third year Re-certification date. Transition can be obtained by submitting evidence of successful completion of ISO 9001:2008 training.
Page 30
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
SCOPE TRAINING WORK
EXPERIENCE
AUDITING
EXPERIENCE
1. ISO 9001:2008
Audit* NA NA
At least 16 audit
days using ISO
9001:2008 as the
referenced Standard.
2. ISO 13485:2003
Audit
ISO 13485
Training NA
At least 10 audit
days using ISO
13485:2003 as the
reference Standard.
3. ISO/IEC 17025
Assessment
ISO/IEC 17025
Training NA
At least 10 audit
days using ISO/IEC
17025:2005 as the
reference Standard.
4. Cattlecare
Audit
Cattlecare
Course
Relevant agricultural
industry experience. NA
5. Flockcare
Audit
Flockcare
Course
Relevant agricultural
industry experience. NA
END OF ANNEX C
Only eligible audit experience completed in the three years prior to application can be considered.
Only independent audits satisfy the auditing experience requirements. The auditor shall be independent from the audited organization.
Examples of relationships that may be acceptable are:
A head office audit of a plant or division;
One division or plant auditing another division or plant;
A customer organization auditing a supplier;
A third party certification audit; or
A consultant contracted to provide an independent conformance audit.
All audits must be for determining conformity to a QMS standard (e.g., HACCP). The auditor may have no part in the set up of, on-going development of, or maintenance of the QMS system being audited.
Audits that are combined with consulting activities cannot be used to meet the audit experience requirement for initial certification, expansion, or re-certification.
Examples of consultancy audits include:
Audits where advice was given on an action plan for developing/improving the system as part of the audit;
Audits where the auditor had a part in setting up the system; or
Audits where the auditor was involved in the on-going development of the system.
Audits must be recorded in calendar days, not man days. On-site activity shall not be less than six hours per day.
Annex D Conditions for Audit Experience
END OF ANNEX D
Page 31
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
All certified auditors are required to provide evidence of Continuing Professional Development
(CPD) upon re-certification. All auditors are required to undertake at least 45 hours of appropriate
CPD every three years.*
In the selection of appropriate professional development, auditors need to consider their personal
strengths and weaknesses and identify areas for personal improvement. Professional
development activities undertaken should be related to the field of work undertaken by the auditor.
All professional development activities should be new knowledge and skills for each auditor.
The RABQSA CPD Log is available on the RABQSA web site at www.rabqsa.com. Alternative
CPD logs may be accepted if they provide all information required on the RABQSA CPD Log.
The CPD log should show the duration and type of activity undertaken and details of the provider.
The following are examples of acceptable CPD activities:
Participation in formal/short courses;
Participation in in-house courses/workshops;
Attendance at conferences, seminars and workshops;
Attendance at Professional Body/Association meetings;
Participation in relevant committees and working groups;
Delivery of publicly presented papers;
Preparation of published articles;
Presenting a training course (only one time per re-certification period can be considered); and
Developing new training course material
*- All Personnel currently certified in the Qualification-based QMS Auditor Certification Scheme will
be required to submit evidence of his/her awareness and understanding of the relevant updates to
ISO 9001:2000. This evidence will be counted towards the 45 hour CPD requirement, and must be
submitted by their third year re-certification date.
Annex E Continuing Professional Development
END OF ANNEX E
Page 32
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
E-based Gap Examinations
The purpose of e-based Gap Examinations is to bridge the ‘gap’ when the Certificate of Attainment
demonstrating the required knowledge is older than three years prior to application for certification
and are completed to demonstrate currency of knowledge required for certification.
E-based Gap Examinations are accessed through the RABQSA website, www.rabqsa.com. A high
speed internet connection is recommended.
E-based Gap Examinations required by Grade
Completing E-based Gap Examinations
On receiving the Application Form and payment of the appropriate Fees, RABQSA will issue a User
ID and Password via email. The applicant then accesses and completes the appropriate E-based
Gap Examination via the RABQSA website www.rabqsa.com.
Examination Results
RABQSA will provide examination results via email. Applicants who achieve a 100% correct result
will be issued a Certificate of Attainment (E-certificate) via email.
Applicants who achieve greater than 80% but less than a 100% correct result will be sent the
questions answered incorrectly via email. Applicants will have 48 hours from the time of opening
the email to provide the correct answers to RABQSA.
Applicants who achieve less than a 80% correct result will be sent another User ID and Password
to retake the examination. Applicants who require a third User ID and Password will be required to
pay another E-based Examination Fee. For details of your region’s E-based Examination Fee
please refer to the RABQSA website www.rabqsa.com/fee_portal.html.
Annex F RABQSA E-Based Gap Examinations
CONTINUED OVER PAGE
Page 33
Document Ref: QMS QB Auditor Certification Requirements © Edition: 6 Issued : November 2010
Grade Gap Exam
Associate Auditor RABQSA-QM
Auditor RABQSA-QM
Principal Auditor RABQSA-QM
Lead Auditor RABQSA-QM
RABQSA-TL
Business Improvement Auditor RABQSA-QM
RABQSA-TL
RABQSA will recommend to Applicants who achieve less than 80% correct after three attempts that
additional training should be sought or, at RABQSA’s discretion to retake the examination.
Additional training may be sourced from RABQSA certified Training Providers. RABQSA certified
Training Providers contact information may be found on the RABQSA website www.rabqsa.com.
Annex F RABQSA E-Based Gap Examinations (cont.)
END OF ANNEX F
Page 34
Document Ref: QMS QB Auditor Certification Requirements © Edition: 6 Issued : November 2010
RABQSA has defined Terms and Conditions for certification, as shown in this Annex.
Code of Conduct
All certified auditors have an obligation to improve the standing of their profession by observing
the RABQSA Code of Conduct (Code). Compliance with the Code is a condition of certification
and all Applicants are required to sign their agreement to comply with the Code at time of
application for certification. All certified auditors are required to confirm that they have complied
with the Code at each period of surveillance and re-certification.
RABQSA Code of Conduct
I will act professionally, accurately and in an unbiased manner.
I will strive to increase the competency and prestige of my profession.
I will assist those in my employ or under my supervision in developing their professional
competency.
I will not undertake any assignments that I am not competent to perform.
I will not represent conflicting or competing interests and will disclose to any client or
employer any relationships that may influence my judgment.
I will not discuss or disclose any information relating to any assignment unless required by
law or authorized in writing by the client and/or my employing organization.
I will not accept any inducement, commission, gift or any other benefit from client
organizations, their employees or any interested party or knowingly allow colleagues to do
so.
I will not intentionally communicate false or misleading information that may compromise the
integrity of any assignment or the personnel certification process.
I will not act in any way that would prejudice the reputation of RABQSA or the personnel
certification process and will cooperate fully with an enquiry in the event of any alleged
breach of this code.
Annex G Terms and Conditions of Certification
CONTINUED OVER PAGE
Page 35
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Applicant Responsibility
Each Applicant must ensure that the information he/she provides is accurate, verifiable and
addresses all of the requirements for certification for the type, grade and scope of certification
being sought.
Reduction of Certification
Certified persons can reduce their certification at any time by notification in writing to the RABQSA
QMS Scheme Examiner.
A reduction in certification may also be advised to an Applicant by the RABQSA Scheme
Examiner after evaluation of the Application. Acceptance of a reduction of certification must be
provided in writing. RABQSA does not refund fees to any certified persons when reducing
certification.
Suspension
RABQSA reserves the right to suspend certification as a result of investigations into the conduct or
performance of certified persons. Refer to Complaints for further details. RABQSA does not
refund fees to any certified persons when suspending certification.
Withdrawal
RABQSA reserves the right to withdraw certification as a result of investigations into the conduct
or performance of certified persons. Refer to Complaints for further details.
Certified persons may withdraw their certification at any time by notification in writing to the
RABQSA QMS Scheme Examiner.
RABQSA remains the sole owner of any Certificates and ID Cards issued to certified auditors. In
the event of withdrawal of certification, the Certificate and ID Card issued must be returned to
RABQSA. RABQSA does not refund fees to any certified auditor when withdrawing certification.
Annex G Terms and Conditions of Certification (cont.)
CONTINUED OVER PAGE
Page 36
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Complaints
Against Auditors
Complaints against the actions or conduct of a certified auditor will be reviewed and investigated
by RABQSA using documented procedures. A valid substantiated complaint may result in
withdrawal of certification.
Against RABQSA
Complaints against RABQSA may be submitted via the RABQSA web site, www.rabqsa.com.
Each complaint will be reviewed, investigated, and resolved in a timely manner through a formal
documented process. In appropriate circumstances, the RABQSA Scheme Committee will
investigate complaints against RABQSA.
Appeals
An appeal against adverse certification decisions or withdrawal of certification must be submitted
in writing via the RABQSA website, www.rabqsa.com. The written appeal will be reviewed,
investigated, and resolved in a timely manner through a formal documented process.
Appeals may be made on the following decisions:
Refusal to grant initial certification,
Refusal to grant continuation of certification,
Refusal to grant an expansion of grade of certification
Reduction in certification grade,
Withdrawal, or
Suspension
All appeals shall be submitted in writing to RABQSA via the RABQSA website, www.rabqsa.com.
The Applicant is required to submit their appeal to RABQSA no later than 30 days after notification
of the decision. The appeal should include appropriate substantiation for the appellant’s position
and it shall contain any additional or updated information.
Certification Information
For information on RABQSA’s:
Certification processes;
Applicants’ rights and responsibilities;
Complaints and appeals process;
Conditions of use for Certificates, ID Cards and RABQSA logo; and
Privacy
Please contact RABQSA via the website www.rabqsa.com or email [email protected].
Annex G Terms and Conditions of Certification (cont.)
END OF ANNEX G
Page 37
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Effective 1st January 2007 All fees are quoted in US dollars
All fees paid to RABQSA are non-refundable Payments may be made in US$, AU$ or €. All fees are subject to change.
For complete details of Fees, refer to website at www.rabqsa.com/fee_portal.html
APPLICATION FEE
Provides for the receipt and desk audit of the application (Administration Fee).
These fees must accompany all applications.
Administration Fee
CERTIFICATION AND ANNUAL FEES
Provides for the Certificate and ID Card (First Annual Certification Fee), inclusion on the RABQSA Certified
Personnel Register (available to the public through the RABQSA website), and ongoing certification (Annual
Fee).
The First Annual Certification Fee is payable AFTER your Application has been approved. Do not submit this Fee with your Application. Annual Certification Fees are payable annually on the anniversary of the certification and will be invoiced by RABQSA.
RE-CERTIFICATION FEE
Provides for Annual Fee, administration costs, evaluation of re-Certification Requirements,
ongoing certification,* re-issue of the Certificate and ID Card,* inclusion on the RABQSA Certified
Personnel Register*.
This Fee is payable every 3rd anniversary of initial certification and re-certification and includes
the Annual Certification Fee. The applicable fee will be invoiced by RABQSA.
EXPANSION FEE
Provides for the receipt and desk audit of the Application, issue of updated Certificate and ID
Card* and update on the RABQSA Certified Personnel Register*.
Payable when applying for an expansion of grade or scope in currently held certification.
* - occurs upon verification that the Applicant has met the expansion requirements.
Annex H Certification Fee Schedule
CONTINUED OVER PAGE
Page 38
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
PAYMENT OPTIONS
Please see the RABQSA website for your region’s Principal Office’s contact
details. CREDIT CARD PAYMENT ONLINE:
Credit Card payments may be made in US$, AU$ or € via the RABQSA website
http://www.rabqsa.com/internalqsa/?module=sendPayment&func=payment.
CRDIT CARD PAYMENTS BY PHONE:
You can pay your account over the phone using your credit card. Please call the number listed on
the RABQSA website (www.rabqsa.com) for your regional office during normal business hours
Monday to Friday.
Annex H Certification Fee Schedule (cont.)
END OF ANNEX H
Page 39
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Note:
Payments may be made in US$, AU$ or €. All fees are non-refundable and subject to change.
Please refer to the fees listed for each region on the website www.rabqsa.com for details.
EXAMPLE APPLICATION Annex I
Page 40
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
CONTINUED OVER PAGE
QMS Auditor Certification Application RABQSA International Commercial- In-Confidence when completed.
When completing this Application please ensure that all sections are completed and that all requested
information is provided.
SECTION 1 – PERSONAL DETAILS
Family Name:…………..……………..Auditor……………………………Prefix/Title:……Mr…………….
Given Name(s): …………………...Alex John………………………………………………………………..
Name for Certificate: …………Alex John Auditor…………………………………………………………...
This should be your name as you wish it to appear on all published materials (e.g. Alex J Auditor).
Organization: ………Citywide Auditing Company………………...………………………………………
Position:……………..Quality Manager…………………………………………………………………….
Please provide both business and home contact details and select the relevant box to indicate which is the preferred contact
point for RABQSA communications. Please include area codes in phone and fax numbers.
Applications should be forwarded to your local RABQSA Office. Please see the website www.rabqsa.com for
contact details.
CONTINUED OVER PAGE
Business Address
Address details:
1515 Business Court……………………………..
City: Milwaukee State: WI Postcode: 53218…
Country: USA………………………………………
Phone:……….555-555-5555…………..…………
Fax: …………...555-666-6666………………………
Mobile:...555-777-7777…………………….... ....
Email: …[email protected]…….
Applications must include an e mail address
Home Address
Address details:
1818 Cityville Road………………………………………….
City: ….Milwaukee...State: WI Postcode: 53214…..
Country: USA……………………………………………….
Phone: …..555-567-8975…………………………….
Fax:….N/A ........................................................ …...
Mobile:….555-888-9999……………………………..
Email: …[email protected]…………………………..
Applications must include an e mail address
CONTINUED OVER PAGE
Page 41
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
SECTION 2 – LANGUAGE SKILLS Please list any languages Include a question on other languages; include written, spoken, and reading; Fluent (F), Intermediate (I), or Minimal (M). Language: ………English…………..Written: …..F………… Spoken: ……F……. Reading: ….F………... Language: ………French...…………Written: ….F.………... Spoken: ……F….... Reading: ……F………. Language: ……………………………Written: ……………... Spoken: ………….. Reading: ……………..
SECTION 3 - GRADE OF CERTIFICATION Please select the grade of certification requested: Associate QMS Auditor QMS Auditor Principal QMS Auditor Lead QMS Auditor Business Improvement QMS Auditor
SECTION 4 - SCOPE OF CERTIFICATION
Please select the scope(s) of certification requested. Refer to Annex C of the Certification Re-quirements for details, carefully noting the definition of each scope.
1. ISO 9001:2008 Audit 2. ISO 13485:2003 Audit 3. ISO/IEC 17025 Assessment 4. Cattlecare Audit 5. Flockcare Audit Please complete a separate Scope Application Form (Section 5) for each scope requested above.
EXAMPLE Annex I
QMS Auditor Certification Application (cont.)
CONTINUED OVER PAGE
Page 42
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
SECTION 5 - GENERAL REQUIREMENTS FOR CERTIFICATION ATTACHMENTS (Please select each box as applicable to confirm you have attached the following:)
Application Fee. (Refer to Fee Schedule for your region, available on the RABQSA website www.rabqsa.com
Copy of Certificate of Attainment/Successful Completion for the applicable training course and/or
knowledge examination. (Refer to Page 8 of the Certification Requirements)
Copies of formal education, e.g. Degrees or Certificates. (Refer to Page 15 of the Certification Requirements)
Audit Logs, verified and including contact details for auditees. (Refer to Page 16 of the Certification Require
ments)
Curriculum Vitae detailing dates of employment, roles and responsibilities, including contact details
for employers. (Refer to Page 15 of the Certification Requirements)
SECTION 6 - REQUIREMENTS FOR SCOPES
SCOPE REQUESTED: …...ISO 9001:2008 Auditor .................................................................................. A separate form is required for each scope sought. The information provided on this form must be in relation to the specific scope sought to enable your application to be processed promptly. Please refer to the Certification Requirements for complete details. SCOPE SPECIFIC EDUCATION
EXAMPLE Annex I
QMS Auditor Certification Application (cont.)
Year Completed
Institution Qualification Modules / Subjects Certificates Attached
15 May 2007 Quality Technical
College Diploma Leading Quality Teams
CONTINUED OVER PAGE
Page 43
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
SECTION 6 - REQUIREMENTS FOR SCOPES (CONT.)
EXAMPLE Annex I
QMS Auditor Certification Application (cont.)
Month and Year/s
(e.g. March 2001- April 2004)
Organization Roles and responsi-
bilities Total duration
(Effective Full Time)
Verified By (print name of em-ployer + their tele-phone, fax and/or
email details)
15 May 2000-present
Citywide Auditing Company
Quality Manager 9 years City Wide Audit-
ing Company 414-999-5555
Date/s of Audit Duration (in days) on-site Your Role (observer, trainee, auditor, team leader)
Audit Standard Used
(e.g. AS4801, ANSI Z-10)
15 May 2008 4 days Auditor ISO 9001:2008
16 May 2008 4 days Lead Auditor ISO 9001:2008
17 May 2008 3 days Lead ISO 9001:2008
19 May 2008 6 days Auditor ISO 9001:2008
SCOPE SPECIFIC AUDITING EXPERIENCE
SCOPE SPECIFIC WORK EXPERIENCE
CONTINUED OVER PAGE
Page 44
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
EXAMPLE Annex I
QMS Auditor Certification Application (cont.)
SECTION 7 - DECLARATION Please select the boxes as appropriate to confirm your understanding and agreement to the Terms and Conditions below:
I hereby apply for certification with RABQSA International.
I agree to the publication of my name, contact and certification details in the RABQSA Register of Certified
Personnel. (select only if applicable).
I request that I be shown on the Register of Certified Personnel as able to undertake contract audit work.
(select only if applicable).
I agree to comply with the requirements of certification as detailed in the Criteria for Certification.
I agree to supply any further information needed for the evaluation of my application.
All information provided in this application is correct to the best of my knowledge.
Any complaints regarding my performance are formally dealt with in a manner to prevent recurrence.
I authorize RABQSA to seek information from any parties noted in this application and supporting docu-
ments.
1. I will observe the RABQSA Code of Conduct and confirm that:
2. I will act professionally, accurately and in an unbiased manner.
3. I will strive to increase the competence and prestige of my profession.
4. I will assist those in my employ or under my supervision in developing their professional compe-tencies.
5. I will not undertake any assignments that I am not competent to perform.
6. I will not represent conflicting or competing interests and will disclose to any client or employer any relationships that may influence my judgment.
7. I will not discuss or disclose any information relating to any assignment unless required by law or authorized in writing by the client and/or my employing organization.
8. I will not accept any inducement, commission, gift or any other benefit from client organizations, their employees or any interested party or knowingly allow colleagues to do so.
9. I will not intentionally communicate false or misleading information that may compromise the in-tegrity of any assignment or the personnel certification process.
10. I will not act in any way that would prejudice the reputation of RABQSA or the personnel certification process and will cooperate fully with an enquiry in the event of any alleged breach of this code.
Name: ………………………….Alex J. Auditor .................................................................... Signature: …………………………..Alex J. Auditor ..................................................................... Date: ………………………….15 June 2008 ......................................................................
CONTINUED OVER PAGE
Page 45
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
EXAMPLE Annex I
QMS Auditor Certification Application (cont.)
SECTION 8 - PAYMENT DETAILS
Please refer to the current Fee Schedule for your region for details of Application Fees.
(All fees are non-refundable and subject to change)
I enclose my Credit Card for the amount of:
US$: ............105.00.................. AU$....................... €$:................................
Credit Card Type (please select): VISA M/CARD AMEX Card Number: ……1234-5678-9123-4567.…………….......................Expiry Date: ……05/2012……… Card Holder Name: ..............Aaron Auditor ............................................................................................ Cardholder’s Signature:...............................Aaron Auditor................................................................................
For further information or enquiries about the QMS Auditor Certification Scheme or application for certifica-tion, please contact the RABQSA QMS Scheme Examiner your region’s RABQSA Principal Office.
Thank you
END OF APPLICATION FORM
ESSENTIAL INFORMATION FOR APPLICANTS FOR AUDITOR CERTIFICATION Applicants should review the competencies required for the certification grade and scope(s) requested and ensure that all the information submitted demonstrates these competencies. Applicants who may have any special needs (e.g., language) should contact RABQSA for advice. Applications must be submitted in English unless otherwise agreed with RABQSA. Where translations of documents are provided, these must be independently verified for accuracy. Please ensure that all materials are complete and accurate prior to submittal, all documentation must be submitted within 30 days of Application being received. Applications without all the re-quired information will experience delays in processing or possible closure of Application while RABQSA seeks the additional information required.
END OF ANNEX I
Annex J
Summary of Certification Requirements Please note that this table is a SUMMARY ONLY of Certification Requirements. Applicants
MUST refer to the details provided in the Certification Requirements.
Page 46
Document Ref: PCD28 QB QMS Auditor Certification Requirements © Edition : 6 Issued : November 2010
Certification
Requirements
Associate
QMS
Auditor
(QMS-AA)
QMS
Auditor (QMS
-A)
Principal QMS
Auditor
(QMS-PA)
Lead QMS
Auditor
(QMS-LA)
Business
Improvement
QMS Auditor
(QMS-BI)
Knowledge
(page 8)
RABQSA-AU; and
RABQSA-QM;
or
QMS Auditor/Lead Auditor training course
RABQSA-AU;
RABQSA-QM; and
RABQSA-TL
or
QMS Lead Auditor
training course
RABQSA-AU;
RABQSA-QM;
RABQSA-TL; and
RABQSA-OI
or
QMS Lead Auditor
training course;
and RABQSA-OI
Qualifications
(education and
work
experience)
(page 15)
Min. 2 years Quality Assurance work experience in the 4 years prior to application
plus
a minimum of 4-8 years general work experience dependent on educational qualifications
Auditing
experience
(page 16)
NA
20 audit days
including 4
complete
audits as a
member of an
audit team
20 audit days
including 4
complete audits.
At least 10 audit
days and 2
complete audits
as solo auditor or
Team Leader.
35 audit days
including 7
complete audits.
At least 15 audit
days and 3
complete audits as
Team Leader
35 audit days
including 7
complete audits.
At least 15 audit
days and 3
complete audits as
Team Leader
Personal
Attributes
(page 20)
Personal attributes will be verified by RABQSA Scheme Examiners with auditees provided
on an Applicant’s audit log and/or employers.
OVERVIEW — TPECS COMPETENCY UNITS
RABQSA-AU: Management system auditing
RABQSA-QM: Auditing quality management systems
RABQSA-TL: Leading management systems audit teams
RABQSA-OI: Advising on business improvement and risk management